Postgraduate Research Transfer Process: Procedure

8.The University’s time limits for transfer (excluding any adjustments for periods of suspension) are prescribed by the University for each doctoral programme of study and are published in the relevant programme of study specification on the postgraduate research policies and procedures. 

9. PGRs are required to submit transfer reports within a time scale prescribed by the faculty. Faculties may set earlier deadlines for submission of the report for the Transfer Assessment.  

10. Postponement of the transfer assessment beyond the University’s timescales requires the permission of the Progression and Examination Group (PEG). When the initial transfer viva is conducted later than the timescale set out in the programme of study this will normally reduce the timescale by which the panel may defer a decision 

11. PEG asks that the Head of School be formally requested to investigate the situation when a transfer recommendation for a PGR is more than six months late.

12. The PGR must provide a written submission (“Transfer Report”), as defined by the Faculty, which may include a synopsis of the work carried out, a sample chapter and other written or experimental work, along with: 

• A planned schedule for completion of the thesis within the standard period of study (e.g. a Gantt chart).
• Training Plan and record of training undertaken.
• Pre-transfer report which includes a reflection on progress to date from both the PGR and Supervisor.
• Ethics review information.
• Data Management Plan.
• PGR-Supervisor Agreement.

13. PGRs must ensure that the work presented for assessment meets the University’s research and academic integrity expectations. PGRs must engage with the training and resources and the University’s published rules and guidance. 

14. The PGR Turnitin Screening Guidance sets out the process agreed by the Progression and Examinations Group for the screening of PGR assessed work, including the transfer submission. 

15. The University has approved detailed guidance on using generative Artificial Intelligence (AI) tools as part of a research degree candidature. The PGR Proofreading Policy and Guidance explains what support is permitted with a transfer submission.  

16. PGRs may consult a copy of their transfer report during the transfer interview, which may be annotated with notes. PGRs may also bring with them and access during the transfer interview other material created by them during their candidature. Other third-party material not created by the PGR during the candidature is not permitted, whether in printed/physical form or in electronic format.

17. If the examiners identify any academic integrity concerns with the transfer report or during the transfer interview, the matter should be reported to the Director of PGR Studies and Graduate School immediately. The transfer interview will be postponed pending the outcome of the investigation, in accordance with Procedures for investigating academic misconduct in PGR assessments.  

18. The process for identifying, agreeing and communicating support and reasonable adjustments for the transfer process or interview is set out in the guidance on reasonable adjustments and support for PGR examinations. PGRs who require an adjustment to the transfer process should contact their Graduate School.

19. Transfer Panels are responsible for making the decision on transfer. The Panel must comprise a minimum of two individuals who are independent of the supervisory team. 

20. All PGRs must be interviewed by the transfer Panel. 

21. The transfer interview must be conducted in English and this should take the form of a viva voce examination. 

22. Supervisors may attend the transfer interview and participate in the discussion with the PGR. They may feedback their views to the panel but do not take part in the decision making process.

23. The transfer interview must not be recorded by any party.

24. There are three possible models for a transfer interview: 

• Fully in person (all parties together on campus for a face-to-face viva) 
• Fully remote (all parties complete the viva via Microsoft Teams) 
• Hybrid (some parties are face to face whilst others in the meeting are video streaming). 

25. Transfer interviews should normally be held and concluded within standard University working hours. 

26. The panel must ensure that pastoral support will be available to the PGR immediately following the interview, should this be required. This will normally be provided by the supervisor or another member of staff. 

27. The assessment at the “transfer” stage is intended to identify whether the individual PGR and the research project have the potential for research at doctoral level and also whether completion of a thesis within the standard period of study for the programme concerned is a reasonable expectation. 

28. The questions in the transfer panel report are aligned to the learning outcomes for doctoral award, including:

• the potential for originality and independent critical ability within the research;
• the written style and overall presentation of the submission as well as the PGR’s ability to communicate their research;
• the PGR’s understanding of the area of study (for example, awareness of key literature in the field) and their knowledge of research techniques and methods;
• the planned schedule of work for the remainder of the research, and whether this is achievable within the standard period of study.

29. Transfer Panels must also consider: 

• whether a data management plan has been completed and appropriate arrangements for data management and storage are in place;
• whether ethics requirements have been identified and addressed appropriately; and
• whether satisfactory progress has been made against the agreed training plan.

30. Where the panel identifies concerns in any of these areas, it must record the actions the PGR has been required to take to address them.

31. The panel must give the PGR an opportunity to discuss their progress, supervision and any other concerns in the absence of the supervisor(s). 

32. Practice-led PGRs have additional transfer requirements. These are set out in the Practice-Led Protocol.

33. After a first transfer interview, the following recommendations are available to the Panel:

• Transfer to doctorate: Where the Panel are satisfied on the basis of the first transfer submission and the interview that the PGR and their project have the potential for success at doctoral level. 
• Deferral: When a transfer submission and/or PGR’s performance in the interview does not fully satisfy the Panel at this stage but does demonstrate the potential to satisfy the requirements for transfer. 
• Transfer to MPhil: For Provisional PhD candidatures, if the Panel do not feel there is evidence from the transfer submission and viva of the potential to satisfy the criteria for transfer to PhD, the Panel must also consider the possibility of transfer to MPhil and whether the individual PGR and the research project have the potential for research at MPhil level.  
• Withdrawal: A decision to withdraw implies that the project and PGR do not show potential for doctoral study (and in the case of a Provisional PhD, MPhil study). 

34. In the case of a first submission the Panel should always recommend deferral for the decision if they believe that the project and the PGR are potentially of doctoral (or MPhil) standard, and if the PGR has not yet exceeded the maximum period available for a final decision on transfer.

35. A submission can only be deferred on one occasion. Following resubmission, the following recommendations are available to the Panel:

• Transfer to doctorate: If the panel is happy with the revised transfer report this recommendation can be made without a second interview.
• Transfer to MPhil: For Provisional PhD candidatures only. This recommendation can only be reached after a second transfer interview has been held.
• Withdrawal: This recommendation can only be reached after a second transfer interview has been held.

36. Transfer to a Masters by Research as a transfer outcome is not permitted.

37. The decision on transfer must be recorded in writing, agreed by all the members of the assessment panel and contain an assessment of the PGR’s progress. The PGR will receive a copy of the decision and report of the assessment panel after approval by the Progression and Examination Group.

38. In the exceptional circumstance that members of the Transfer Assessment Panel fail to reach an agreement on the recommendation to be made following the transfer interview the separate procedure for managing disagreements between panel members will be followed. 

39. A Faculty/School must adopt a consistent approach to communicating the outcome for all PGRs.  This is normally that the PGR is asked to leave the meeting whilst the members of the Panel deliberate their decision before being called back to the meeting to be informed of the Panel’s recommendation. 

40. Following the transfer viva, The Transfer Panel must complete the Joint Report of the Transfer Assessment Panel and submit this within 10 working days of the viva.

41. The Director of PGR Studies is responsible for reviewing all transfer panel reports before they are submitted to the Progression and Examination Group (PEG). 

42. The Graduate Board has delegated authority to the Progression and Examination Group (PEG) to approve recommendations arising from transfer assessments. 

43. PGRs will receive formal notification of their transfer outcome from Doctoral College Operations after approval by the Progression and Examinations Group.

44. The transfer Turnitin originality report will be shared with the PGR and their supervisor(s) after the transfer process has concluded as a developmental learning resource.

45. The Transfer Assessment Panel must comprise a minimum of two individuals who are independent of the supervisory team. The Panel may comprise either:

• two independent individuals with relevant subject expertise, or
• one individual with subject expertise and one who has previous research degree supervision and/or examination experience (e.g. this might be the Director of PGR Studies (DPGR)), both of whom are independent of the supervisory team.

46. Flexibility is permitted to allow for additional members (e.g. in cases where an interdisciplinary project crosses a number of subject boundaries). In exceptional cases, consideration may be given by PEG for the use of an External Assessor on the transfer assessment panel.

47. Transfer Assessment Panels are responsible for:

• Conducting the transfer interview with the PGR.
• Making the recommendation on transfer.
• Completing the joint report of the transfer assessment Panel after the meeting.
• Ensuring any concerns are documented in the joint report.
• Informing the Director of PGR Studies where there are any concerns with plagiarism or other academic misconduct in the transfer report or the viva. 
• Facilitating any reasonable adjustments to the transfer interview agreed upon in advance.

48. The transfer interview will normally be chaired by one of the independent members of the Panel. However, Schools may appoint an additional individual (who is independent of the supervisory team), to Chair the transfer interview.

49. An independent chair is required for any second viva following deferral. Their role is to:

• advise the panel on procedures before, during and after the viva;
• ensure that the viva is conducted in accordance with University requirements;
• attend the full viva and the subsequent panel discussion; and
• complete the Independent Chair report after the viva.

50. The Chair is not expected to:

• read the transfer report or play an academic assessment role;
• question the PGR on their work;
• contribute to or complete the transfer panel’s joint report;
• organise administrative arrangements for the viva.

51. Supervisors have a role to play in supporting the transfer process and informing the deliberations of the transfer panel.

This includes:

• ensuring that arrangements are made for the transfer review within the timescale prescribed;
• identifying individuals to serve on the transfer panel;
• commenting on the PGR’s progress prior to the transfer via the pre-transfer progress report;
• normally attending the transfer interview. If the supervisor will not be attending they should be available for consultation as necessary (ideally in the School but contactable by telephone/Teams is acceptable);  
• the supervisor(s) may ask questions of the PGR at the transfer interview but should refrain from answering questions on behalf of the PGR;
• the supervisor(s) should be offered the opportunity to feedback to the Panel in the absence of the PGR at the end of the transfer interview and before the decision on transfer is taken.   

52. The supervisor does not take part in the academic judgement and the decision making process. The supervisor(s) must leave the room when the Panel is discussing its recommendation.

53. The Director of PGR Studies must be satisfied that:

• between them, the Panel have the appropriate experience of research degree supervision, the transfer process and the relevant discipline experience/knowledge to effectively reach a judgement on the transfer submission
• the transfer assessment has been conducted in accordance with the University's Code of Practice for Research Degree Candidatures; 
• the report is complete and of an appropriate standard;
• the information provided supports the panel's recommendation; and
• the feedback provided to the PGR is clear and appropriate.

54. The Director of PGR Studies is responsible for reviewing all transfer panel reports before they are submitted to the Progression and Examination Group (PEG).

55. The Graduate Board has delegated authority to the Progression and Examination Group (PEG) to approve recommendations arising from transfer assessments. PEG may request further information where it is not satisfied that the panel's recommendation has been clearly and sufficiently justified